The Beyond Capture Podcast
Beyond Capture is a podcast by Umony, hosted by CEO Dean Elwood, exploring how firms can leverage the vast amounts of data they capture and transform them into a powerful asset.
Umony provides capture, archiving and AI-native surveillance solutions to help enterprises navigate governance and regulatory challenges. Featuring Chief Compliance Officers, regulatory compliance experts and industry leaders, we discuss how to move beyond data collection and transform compliance into a proactive and strategic function.
The Beyond Capture Podcast
The Compliance Playbook: Adapting to an AI Driven World
In this episode of Beyond Capture, Umony CEO Dean Elwood sits down with Stephen Sanders, former Chief Compliance Officer EMEA at J.P. Morgan and a compliance veteran of over 40 years. Stephen reflects on his journey from the early days of handwritten trade records to today’s AI-driven compliance landscape. They discuss the critical turning points that have shaped financial regulation, including the landmark Zubulake case, the rise of electronic records and the growing importance of proactive data management. For anyone navigating the complex world of compliance, this episode provides valuable insights into the past, present and future of financial oversight.
Chapters:
00:00 – Intro
00:24 – Early Days in Compliance
01:15 – The Shift from Notebooks to Digital Records
04:13 – Turning Points in Financial Regulation: The Zubulake Case
10:45 – Records, Risk, and Responsibility
17:41 – Technology and the Rise of AI in Compliance
28:02 – The Subjectivity of Regulatory Standards
35:08 – Preparing for the Next Compliance Challenge